SEC Form 4/A · accession 0001140361-17-041001
CASTLE A M & CO · CTAM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Ronald E Knopp
Officer — EVP & COO
Period of report
Aug 31, 2017
Accepted (ET)
Nov 3, 2017 · 5:09 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000018172
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Aug 21, 2017 | J | 11,152 | $0.00 | D | 0 | D | |
| Common Stock | Aug 31, 2017 | J | 8,942 | $0.00 | D | 0 | I | Retirement Account |
| Common Stock | Aug 31, 2017 | A | 320,861 | $0.00 | A | 320,861 | D | |
| Common Stock | Aug 31, 2017 | A | 80 | $0.00 | A | 320,941 | D | |
| Common Stock | Aug 31, 2017 | A | 110 | $0.00 | A | 110 | I | Retirement Account |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Convertible Notes | $3.77 | Aug 31, 2017 | A | — | A | Aug 31, 2017 | Aug 31, 2022 | Common Stock | 117,823 | — | D |
Explanation of responses
- F1This amendment is being filed to correct an administrative error in Table I.